DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Registered advisor

M•••••• L••• W••••••••

C••••• P••••••• L••independent RIALouisville, Ky IA-onlyIAPD 2570611

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as Mike W••••••••

At current firm

3 y

since Apr 25, 2023

In the industry

31 y

since Jan 4, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• P••••••• L•• independent RIA current
since Apr 25, 2023 · Louisville, Ky
C••••• P••••••• O••• L•• institutional
Jan 27, 2010 to Apr 24, 2023 · New York, Ny
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Mar 27, 2008 to May 31, 2013 · Louisville, Ky
A••••••••• I••• BD affiliated
Oct 24, 2005 to Mar 20, 2008 · Chicago, Il
T••••••••• I••••••••• M••••••••• L•• unclassified
Mar 31, 2004 to Mar 25, 2008 · Dayton, Oh

Moves

a registration end followed by a registration begin elsewhere

C••••• P••••••• O••• L•• to C••••• P••••••• L••
left Apr 24, 2023, registered Apr 25, 2023 (1 days) · corporate re-registration, not a move
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C••••• P••••••• O••• L••
left May 31, 2013, registered Jan 27, 2010 (-1220 days) · Other
T••••••••• I••••••••• M••••••••• L•• to A••••••••• I•••
left Mar 25, 2008, registered Oct 24, 2005 (-883 days) · Other
A••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Mar 20, 2008, registered Mar 27, 2008 (7 days) · Other

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address